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SEC's in-house enforcement powers at risk in US Supreme Court case

A challenge to the U.S. Securities and Exchange Commission's powers to protect investors from fraud comes before the Supreme Court on Wednesday in another in a series of legal attacks against federal agencies that regulate financial markets. The justices are due to hear arguments in an appeal by President Joe Biden's administration of a lower court's ruling restricting the SEC's power to enforce securities laws through the agency's longstanding in-house tribunal system. The case involves hedge fund manager George Jarkesy, who the SEC fined and barred from the industry after determining he had committed securities fraud. ....

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Eureka Announces OTCQB Symbol Change to "UREKF"

Eureka Lithium Corp. today announced FINRA has approved a change of the Company's OTCQB stock symbol. The common shares of Eureka will continue trading on the OTCQB under the new symbol "UREKF", effective Thursday 12th, 2023, and will continue. - Veroeffentlicht am 13.10.2023 ....

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U.S. SEC to finalize rules increasing transparency of short selling market

The rules will require investors to report their short positions to the agency and for companies that lend out shares to report that activity to the Financial Industry Regulatory Authority ....

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European crypto asset manager CoinShares expands to U.S. with new hedge fund division

European crypto asset manager CoinShares expands to U.S. with new hedge fund division
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transaction banking: Goldman Sachs fires several executives in transaction banking -memo

Goldman Sachs has fired several executives in its transaction banking unit for violating the firm s communications policy. The company did not disclose the names of the individuals. Philip Berlinski, the bank s treasurer, will take over the management of transaction banking on an interim basis. Hari Moorthy, the head of transaction banking, was among those who departed. The individuals violated the firm s communications policy and failed to cooperate with the compliance department. ....

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